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About the Role

The Compliance Advisor serves as a key resource for employees and industry professionals regarding regulatory adherence. The role focuses on retail compliance, including daily and monthly trade and account surveillance, and providing guidance to Investment Advisors and branch staff.

Responsibilities

• Conduct, monitor, and document daily and monthly head office reviews of client account activity per CIRO policies and regulatory guidelines.
• Identify trading trends related to suitability, concentration, conflicts of interest, and unusual transactions.
• Analyze and escalate concerns to the Regional Team Lead.
• Follow up on inquiries from daily and monthly reviews with Advisors and Branch Management.
• Ensure required actions are completed and records are filed within the Compliance Department.
• Serve as a primary point of contact for surveillance-related inquiries.
• Monitor business conduct for regulatory risk and recommend corrective actions.
• Assist with AML monitoring for unusual or suspicious activity.
• Evaluate and update departmental procedures, policies, and implementation strategies.
• Provide guidance and support to advisors and branch staff regarding compliance policies.
• Execute special projects as requested.

Requirements

• Strong verbal and written communication skills.
• Understanding of investment and securities industry functions.
• Knowledge of Canadian regulatory requirements and industry rules.
• Understanding of trading practices, market structure, and risk factors.
• Ability to work with initiative and minimal supervision.
• Ability to exercise sound judgment on regulatory and supervisory issues.
• Self-motivated with a commitment to ongoing professional development.
• Working knowledge of MS Word, Excel, Access, and PowerPoint.

Skills

• Suitability assessment
• Trade surveillance
• Account surveillance
• Regulatory compliance
• AML monitoring
• Data analysis
• Dataphile
• Portfolio Aid
• Open-Source Ticket Request System (OTRS)

Location

• Canada

Work Type

• Hybrid

Experience Level

• Previous industry experience with a CIRO Dealer Member is an asset

Education Level

• University degree or college diploma
• Completion of the Canadian Securities Course (CSC)
• Completion of the Conduct and Practices Handbook (CPH)

Salary/Compensations

• $66,000 - $75,000

Benefits

• Performance-based incentive plan
• Comprehensive health and dental benefits
• Group RRSP matching plan
• Paid time off

About the Company

• Leading Canadian wealth management organization.
• Operates with a boutique firm approach.
• Focused on an entrepreneurial, high-performing, advisor-centric culture.

Equal Opportunity

• Richardson Wealth is an equal opportunity employer committed to a diverse, equitable, and inclusive environment.
• Provides accommodations in accordance with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act.